FSC CONTROLLED WOOD

REFERENCE OUTLINE ONLY; READ FOLLOWING NOTES:

  1. This outline is provided to identify the required elements that need to be addressed in a Controlled Wood (CW) documented control system based on FSC-STD-40-005 (STANDARD FOR COMPANY EVALUATION OF FSC CONTROLLED WOOD FSC-STD-40-005 V2-1).
  2. This format is provided for illustration purposes and is not required for use as a template.
  3. FSC Chain of Custody certification requires companies to produce a documented control system (DCS) covering also valid FSC Chain of Custody (CoC) requirements. This outline does not include required elements for FSC COC standard FSC-STD-40-004. It is at the company’s discretion to include all CW and COC procedures in one document or to develop a separate CoC documented control system.
  4. We encourage other parties to use this document as one starting point for developing a CW DCS. However, based on input received directly from FSC, mere use of this document with no changes or company-specific adaptation to address an operation’s specific systems will NOT be sufficient for FSC CW requirements, as audited by Rainforest Alliance or other FSC-approved Certification Bodies (CBs). CBs will always require that an operation have its own CW system, which may be based in part on this and other resources.
  5. Text in {brackets} includes explanations and when applicable, direct references to FSC requirements in FSC-STD-40-005 V2-1 and should be deleted along with non-applicable sections.

FSC Controlled Wood Documented Control System

Location:

Primary Responsible Person:

Date of Last Update to Procedures:

I.Public documents

{Written procedure and defined responsibility for the preparation, updating and distribution to the public of the required documents.}

{Note: There are two specific documents (A and B below) which are required to be publicly available. This means that any person (stakeholderor any interested party) should be able to access and review these documents upon request. It is not required that the public documents be part of the CoC procedures, however it must be clear in the procedures how both A and B are made publicly available. These must be available to Rainforest Alliance during the assessment and subsequent audits.}

  1. Company Policy

{1.1Written policy shall include clear commitment by the company to implement its best efforts to avoid trading and sourcing wood or wood fiber from the controversial categories; policy must specify these categories. Since the policy must be made publicly available, it shall be formulated, separately from the internal company control procedures. Policy commitment shall be endorsed by the most senior level of the company.}

  1. Risk Assessment

{11.1, 11.2Documented risk assessment according to FSC requirements at the level of district of origin must be prepared. For each district the company shall specify if the risk that controversial wood for each category is delivered from certain district of origin is confirmed as low risk or if there is unspecified risk. Each risk assessment shall include all information required in Annex 2 of FSC-STD-40-005 V2. Since the risk assessment must be made publicly available, it shall be formulated, separately from the internal company control procedures.}

II.General system

  1. Responsibilities

{2.2One overall responsible person;responsibilities for control system procedures should be defined, at minimum, for training, maintaining supplier data, checking validity of supplier certificates, material reception, separation of uncontrolled (if applicable), conducting and updating risk assessment, checking origin documentation and auditing authenticity, field auditing (if applicable), handling and follow-up of complaints, checking permits of CITES species (if applicable) preparing sales and shipping documents.}

  1. Training

{3.1 – 3.3 Specification which staff needs training in which areas of CW system, the frequency and basis for conducting training, who conducts training and based on which materials; documentation of training events including at minimum time, agenda and participants.}

  1. Records

{4.1 Identify records which are relevant for the company control system. (Samples of records include: training protocols; purchase invoices and waybills; copies of felling permits; copies of purchase contract from the forest management unit; CITES export permits; received complaints; sales invoices and waybills; audit plans; supplier field audit reports etc.). Specification how long records are maintained: must be at least 5 years.}

III.Supplies

  1. Categorization of Suppliers

{5.1Description of how the list of suppliers is prepared and updated and how wood they supply are categorized;include responsibility for this procedure. All wood supplies should be divided into one of fourcategories: FSC certified material; suppliers of controlled wood who are certified according to FSC-STD-40-005 by FSC accredited certification body, wood included in the company own verification system and uncontrolled wood (if applicable)}

  1. Suppliers included in Company’sOwn VerificationProgram

{5.2Description of how the list of suppliers who are included in the company’s own verification program is maintained and updated. For each supplier the list shall include at minimum name and address; description of wood; approximate species and volume.}

  1. Supplier Certificate Verification

{6.2 Description how the validity and scope of the FSC certificate of suppliers of certified or verified controlled wood is checked. Must include responsibility, frequency and sources of information. Validity and scope can be checked from info.fsc.org or directly from the certifier.}

  1. Districts of Origin

{8.1Description how the district of origin of all material included in company verification system is defined, determinedand verified. List of all districts must be prepared and maintained. Description how thislist is created and updated including responsibility.}

  1. Risk Assessment

{11.1, 11.3 Procedures should describe who is responsible for preparing, reviewing and updating risk assessment. Also company should specify when risk assessment is reviewed. It must be at minimum reviewed if the assessment results are challenged by stakeholders or external parties and if frequent violations appear during checking the authenticity of the information on supplier documents. Procedures should also specify that if the risk can not be positively identified as low risk, precautionary approach is taken and the risk for specific category and district is then classified as unspecified risk.}

IV.Receiving

  1. Purchase Documents from FSC Certified Suppliers

{6.1, 7.1, 7.2List of documents which must accompany FSC certified material and FSC Controlled Wood verified material. Description who will check, how and what will be checked on the documents when material is received. FSC certified wood must be identified by type(FSC pure, FSC mixed, FSC recycled, percent of FSC material, if applicable) and CoC certificate number. For verified controlled there wood must be included the supplier CoC (or FSC CW) code and statement “FSC controlled wood”.}

  1. Purchase Documents from non-certified Suppliers

{8.1Clear description of documents which must be included with shipment to prove the district of origin. These must include at minimum legally required transport documents and proof of purchase from the forest management unit of origin. Description who will check, how and what will be checked on the documents when material is received.}

  1. Segregation

{9.1 Applicable only in case company is also accepting uncontrolled wood. If such wood is accepted, this must be kept physically separated from all other material (FSC certified and controlled). Procedures must describe how this is ensured and who is responsible. Following aspects might be applicable depending on the company type: storage of raw material in stock; usage of distinguishing marks on raw material; physically separation in all stages of production and use of distinguishing marks; separation and marking of intermediate products; storage of final products and use of distinguishing marks.}

V.Sales

  1. Invoice

{15.2, 15.3, Annex 4 1.5, 1.7, 1.8Description how sales documents are prepared and what is included. Must include at minimum the name and address of the buyer; the date on which the invoice was issued; description of the product; the quantity of the products sold; reference to the product’s batch and/or to related shipping documentation; the FSC CW certification code issued by an FSC accredited Certification Body; clear product description “FSC Controlled Wood” for all applicable products; “FSC Controlled Wood” invoice claims are only made to other FSC-certified companies.}

  1. Transport/Shipping Documents

{15.3, Annex 4 1.5, 1.7, 1.8Description how shipping documents (e.g. waybill, loading specification) are prepared and what is included. The FSC CW certification code issued by an FSC accredited Certification Body. Must include at minimum clear product description “FSC Controlled Wood” for all applicable products; “FSC Controlled Wood” claims on shipping documents are only made to other FSC-certified companies.}

VI.Verification of Supplies

  1. Authenticity of SupplierDocumentation

{8.1, Annex 3.A Description of regular process to verify that information on the supplier documents is valid. This has to be in place for all suppliers regardless if material is coming from low risk or from unspecified risk area. This does not necessarily mean field audits. For example information can be cross checked with national database, validity of felling permit confirmed with relevant authority etc. Clear description how often such checks are done, on which basis using which information and who is responsible. Also company should describe activities taken if the information on documentation is not accurate or has been falsified.}

  1. Field Verification Program for Supplies from Sources with “unspecified risk”

{13.1, Annex 3.A, B Procedures for field auditing thatshall be carried out in all districts of origin which have not been positively identified as low risk regions shallbe documented.. Description of the auditing procedure, selection of auditors, sampling of audits, preparation of audit plan, reference to field audit template, maintenance of audit reports. Specification that results are made available to certification bodies upon request. Procedures should also state that the advice or interpretation of national FSC working groups or FSC Regional Offices is taken into consideration if such advice is available.}

VII.Other

  1. CITES Species

{10.1 Which CITES species is the company trading with. In which annexes are these species. Required documents (licenses and/or export permits) which must accompany deliveries. Description who and how will check and ensure that all deliveries include all required documents before material is accepted.}

  1. Complaints Mechanism

{14.1 – 14.3 Description of responsibility and system to follow up complaints presented by third parties or any stakeholders about the controlled status of the material purchased by the company. Must specify description an system that received evidence is analyzed and evaluated within two weeks; if evidence is considered relevant, field verification is carried out within two months; exclusion of the delivery and supplier from the CW status if violations are identified; confirmation that the supplier will be able to supply controlled wood again only after it has presented evidence about compliance with FSC CW requirements. Description that records are maintained about all received complaints and actions taken by the company; company shall inform the relevant FSC National Initiative or FSC Regional Office and the relevant FSC accredited Certification Body when there is a non compliance with FSC Controlled Wood requirements in areas considered as low risk.}

VIII.FSC Controlled Wood Claims

  1. On-product Claims

{Annex 4 1.1, 1.2, 1.3Provision that “FSC Controlled Wood” is not used on-product under any circumstances. Segregation marks not reaching final points of sales may use ‘Controlled Wood’ without reference to FSC. Segregation marks are removed before reaching final points of sale or if they can be interpreted as commercial labels. The FSC label is not used.}

  1. Off-product Claims

{Annex 4 1.4, 1.6, 1.9Provision that “FSC Controlled Wood” is not used in any off-product/promotional claims. The FSC label is not used for promotional purposes related to FSC CW products.}

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